Faculty/Author Profile

Kent Knudson

PwC

Director, Financial Services Regulatory Practice

Mclean, VA, USA

Kent has worked on many engagements for domestic and foreign asset managers,
including mock SEC exams, implementation of automated compliance systems,
internal investigations, regulatory enforcement proceedings, and M&A due
diligence. For the past three years, Kent has focused primarily on alternative
asset managers and hedge funds, assisting in drafting compliance
procedures and conducting conflict reviews. Kent recently led a team conducting an IPO-allocation investigation mandated by the SEC.
Kent also serves as a senior instructor in PwC’s Professional Development
Program, providing client training and education.

Prior to joining PwC, Kent worked for eight years at SEC headquarters in
Washington, DC, first as an examiner and then as a branch chief in the
Office of Compliance Inspections and Examinations (OCIE), where he
focused on mutual funds and investment advisers. At the SEC, Kent
helped to oversee and write reports on soft dollars (1998) and fair valuation of
foreign securities (1997). Kent also participated in the first foreign exams of
US registered advisers and the first reviews of fixed-income pricing services.
Kent was the primary headquarters liaison for the SEC’s Chicago and Los Angeles offices.